Sydney, New South Wales, Australia
- Enhanced operational efficiency by developing and implementing solutions using Power Automate and VBA macros to streamline repetitive compliance tasks, such as new joiner and leaver consolidation - Managed the daily pre-clearance process for employee personal trading requests using CRIMS and Aladdin, ensuring timely review and prevention of potential conflicts of interest. - Conducted weekly compliance induction training for all new joiners across the APAC region, covering key topics such as the firm's Code of Conduct and management of conflicts of interest. - Performed quarterly monitoring of employee personal dealing and gifts & entertainment declarations to identify and address potential policy breaches. - Assisted in monitoring trading activities across investment teams to ensure adherence to policies on best execution, fair allocation, split orders, and parallel executions. - Participated in User Acceptance Testing (UAT) for the SteelEye surveillance platform to validate new system functionalities and rule enhancements prior to deployment. - Contributed to the development, review, and maintenance of internal compliance policies and procedures to ensure alignment with current regulatory standards. - Acted as a key compliance representative in trade surveillance forums and relevant execution oversight groups, contributing to the governance and strategic direction of the firm's trading practices. Etc.
- Contributed to the development of SOPs for current and previous roles, collaborating with stakeholders across teams (e.g., Settlements, Front Office). - Performed data washes for remediation cohorts, ensuring clarity and readiness prior to rollout. - Maintained consistently high-quality work, leading to the creation of a QA framework and helping define team benchmarks. - Reviewed and assessed New-to-Bank (NTB) customers in High-Risk Industries (HRIs) via DDQs (e.g., Pubs & Clubs, Dispensaries, Defence, Charities), liaising with L2 and front office teams. - Investigated Unusual Matter Reports (UMRs) and Suspicious Matter Reports (SMRs), analysing customer profiles and transaction activity for alignment with AML/CTF obligations and group risk appetite. - Initiated and implemented cross-skilling opportunities to support teams during peak periods, gaining exposure to Risk in Change (RIC) processes.